WASHINGTON, April 9, 2015—The North American Securities Administrators Association (NASAA) today announced the final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.

Chaired by New York Investor Protection Bureau Chief Chad Johnson, this year’s conference brings together securities regulators, financial and securities industry representatives, public policy professionals and investor advocates under the theme “Progress Through Innovation.”

After welcoming remarks by Chester McPherson, Acting Commissioner of the District of Columbia Department of Insurance, Securities and Banking, Securities and Exchange Commission Investor Advocate Rick Fleming will open the conference with a keynote luncheon address. Fleming is the first director of the Office of Investor Advocate at the SEC. In this role, he is responsible for analyzing the impact on investors by proposed rules and regulations and identifying problems that investors face.

The first of the conference’s two panels brings together experts representing policymakers, regulators, business and academia to examine how states are successfully serving as innovative incubators of small business development.

Moderated by Ohio Securities Commissioner Andrea Seidt, the panel includes:

  • Nick Bhargava, Co-Founder & Executive Vice President Regulatory Affairs, Groundfloor Finance Inc.;
  • Michael Pieciak, Vermont Deputy Commissioner of Securities and chair of NASAA’s Corporation Finance Section; and
  • Professor Steven Davidoff Solomon, of the University of California, Berkeley School of Law.

During the second discussion, a panel of regulatory and industry experts will address questions related to rapidly evolving technologies that are blazing new trails in technological innovation designed to improve efficiencies for investors and firms, as well as to provide new products and services.

Moderated by British Columbia Securities Commissioner Brenda Leong, the panel features:

  • Andrew Hartnett, Missouri Securities Commissioner;
  • Randee Pavalow, Chief Issuer Products Officer, Aequitas Innovations Inc.;
  • Mike Sha, Co-Founder & Chief Executive Officer, SigFig; and
  • John Whitaker, President, Agency Trading Group.

The conference will be held at the Mayflower Renaissance Hotel, 1127 Connecticut Avenue, NW, Washington, D.C. Registration information is available on the NASAA website at www.nasaa.org. On-site registration begins at 11 a.m. and the keynote luncheon follows at 12:15 p.m. The general session begins at 1:45 p.m. and is scheduled to conclude at 4:30 p.m., with a reception to follow.

For More Information:
Bob Webster | Director of Communications
202-737-0900





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